John P. Purcell
Professional summary
John Peter Purcell is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1987. John has worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Peter Purcell's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 15, 1994 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 80 State Street, Albany, NY 12207April 27, 1993 - June 16, 1993
FIRST MONTAUK SECURITIES CORP.
April 17, 1990 - April 8, 1991
SHEEHAN & PURCELL SECURITIES INC.
September 8, 1988 - June 20, 1989
CARONA & HODGES SECURITIES, INC.
July 6, 1988 - July 28, 1988
WAKEFIELD FINANCIAL CORPORATION
November 6, 1987 - January 12, 1990
FITZGERALD, DEARMAN & ROBERTS, INC.
June 12, 1987 - November 6, 1987
FIRST DEVONSHIRE SECURITIES, INC.
April 29, 1987 - July 7, 1987
GREAT LAKES EQUITIES CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/29/1994)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationFINRA
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Red Flags
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Company Information
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747Albany, NY 12207TRUST BUT VERIFY
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